SEC regulations

Concerns arose when the SEC first proposed its package of regulations. Instead of addressing these worries, the agency just codified them.

Consumer advocates may turn to state regulators in hopes they’ll pass more stringent rules.

TD Ameritrade’s Skip Schweiss says the proposal — if approved by the SEC this week — could alter the competitive landscape.

“The general feeling is that progress is made every day, little by little,” an executive said of the crypto community’s optimism.

The regulator is on high alert as more than 10% of new launches last year targeted a theme.

Experts caution advisors to take document requests seriously. Also, it doesn't hurt to set a collaborative tone at the very beginning.

The regulator is going back to some of the firms that voluntarily settled, requesting information on revenue sharing.

The firm’s founder “knowingly engaged in a multi-year scheme to mask the poor performance of one of the funds’ largest investments,” the SEC alleged.

Investor advocates blast the SEC's proposal, telling lawmakers it would do more harm than good.

The proposal from CBOE Global Markets, if passed, would have been the industry’s first-of-its-kind.